Senior Compliance Officer
- Location:
-
Manchester (M15) jobs
- Salary:
- £35,000 - £40,000
- Company:
- Gibson Hollyhomes
- Job type:
- Permanent jobs
- Date posted:
- 18/11/2009 18:22
- Job id:
- 45728805
- Contact:
- Rory Gibson
- Ref:
- Totaljobs/Rg789
Consumer Finance BusinessExcellent BenefitsPurpose of Role
To assist in the development of the compliance culture throughout the business by working as a member of the Compliance Department to ensure compliance standards have been implemented, including process improvements identified through the compliance monitoring and complaints handling functions.
To contribute to the provision of advice and guidance to the Group, to the reporting of compliance matters to management, and to the management of the compliance department functional duties.
Main Duties and Responsibilities
1.To assist with the management of the compliance-monitoring programme for the Group, and carry out some call analysis and case files reviews, ensuring that the procedures implemented by management are being adhered to, identifying any compliance issues, and making recommendations for any solutions or improvements.
2.To assist with the management of EITHER:
Complaints handling in line with the Group’s Procedure, including dealing with more complicated cases, assisting with regulatory and management reporting, arranging awareness training, communication about the Procedure (or updates to it), and organisation of the record keeping (complaints logs, reports and correspondence).
OR
Law enforcement and industry liaison by acting as first point of contact, and by administering the Group’s Anti-Money Laundering Policy & Procedures including making formal disclosures, drafting awareness training and communications about AML (or updates to the Policy), and organisation of the record of suspicion reports and production orders etc.
3.To supervise the feedback to individual members of staff by the Compliance Monitoring Officers, so that timely information – including statistics and trends – are provided on the analysis conducted, and any issues highlighted.
4.To co-ordinate the compilation of management reports to provide information on Compliance Monitoring and EITHER Complaints (including root cause analysis and any issues highlighted) OR AML (numbers of reports, disclosures and production orders, and any issues arising).
5.To oversee the induction of new members of staff to ensure competency in relation to compliance monitoring, and assist with the day-to-day management of the Compliance Monitoring Officers.
6.To maintain compliance monitoring checklists and guidelines in such a way that they are responsive to changing business and regulatory environment, and therefore maximise the value of the compliance monitoring programme.
7.To provide guidance to the Group on compliance matters, including understanding of internal policies and procedures, regulatory requirements, and industry best practice.
8.To assist with the compliance functions of regulatory change monitoring, data protection officer duties, regulator liaison, law enforcement liaison, and project involvement, as required.
9.To supervise maintenance of up-to-date call recording data, including the downloading and storage of off-site recordings, in an efficient manner to assist with compliance monitoring, complaints handling and easy access to calls as required.
10.To take part in projects and undertake other duties reasonably requested by senior management.
This role is looking for an experience Compliance officer who has worked in the retail financial service environment. This company is looking for ambitious people who are trying to further their careers.
